Branch Compliance Administrator – Boland & Overberg needed at Pam Golding Properties

Key Responsibilities

Responsible for the administration and implementation of the compliance framework and process in Boland and Overberg Rentals. This includes:

• Administration of the FICA process in the branches, including reviewing FICA requests, respond to FICA queries and maintaining FICA registers where relevant;
• Conduct PEP, PIP, Sanctions and Adverse Media Screening on required parties (clients / counterparties;
• Review risk ratings and ensure management control forms are completed for once off and ongoing transactions;
• Ensure that suspicious activities/transactions are escalated to management/Group Compliance timeously;
• Fulfil client identification and verification requirements, including ongoing due diligence for business relationships;
• Assess KYC documents and request additional information if required;
• Record Keeping: Ensuring that complete, correct and relevant documents are filed in Sales Files on Alchemy and/or retained in other designated record retention systems for the requisite period;
• Ensure that offsite storage arrangements for branches are communicated to the Compliance department;
• Ensuring that the offices are using the correct and most up to date forms / contracts / letterheads;
• Ensure that there is compliance in terms of Annexure 1 and that that copies of branch agents and staff are sent to HR;
• Ensure that TFS and UNSC screening of clients/counterparties are performed and that the records are saved on alchemy;
• Review cash deposits to ensure that CTR’s are done timeously;
• Ensure that all confidential information is managed and controlled in terms of the PGP POPI policies;
• Complete Risk and Compliance Returns for the relevant branches;
• Fulfil the roll of Money Laundering Reporting Officer – as necessary or required;
• Support Compliance function in residential sales branches if and when required.

Training

• Ensure that all new staff in the region do the RMCP, FICA and POPIA training and ensure that attendance is tracked and registers are kept;
• Liaise with the Group Compliance office to schedule FICA and POPIA training for the region when required – at least once every 12 months.

Other Duties:

• Act as the first point of escalation for basic queries (e.g. FICA and RMCP) by ensuring that the correct information and guidance is obtained and shared with the agent and/or manager in a timely manner;
• Regularly (at least twice a year) review compliance with the Group POPIA policies, including an audit on how documents containing personal information are retained and managed within the region;
• Ensure the correct disposal and destruction of documents according to the Document Management Policy.

Education & Experience

• Previous experience in Real Estate and/or familiarity with PGP sales and rentals processes would be an advantage;
• Previous experience in regulatory compliance, risk assessment and mitigation would be advantageous in this role;
• Matric
• A para-legal qualification/diploma/certificate, or Bachelor’s degree in Law (undergraduate) and/or diploma or certificate in Compliance would be advantageous;
• Minimum 1-3 years’ experience working in a compliance environment would be advantageous.